Diane Lynn James

Current Employers

Centaurus Financial, Inc.

2300 East Katella Ave Suite 200, Anaheim, CA 92806 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2022-11-16
OH	RA	APPROVED	2022-11-16
TX	RA	APPROVED_RES	2021-10-29
CA	RA	APPROVED	2015-06-16

IN RA
APPROVED

Since 2022-11-16
OH RA
APPROVED

Since 2022-11-16
TX RA
APPROVED_RES

Since 2021-10-29
CA RA
APPROVED

Since 2015-06-16

Branch Locations

1186 E. Grand Avenue, Arroyo Grande, CA 93420 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Carey James & Assoc.	Arroyo Grande	CA	04/2007	Present
Centaurus Financial Inc.	Anaheim	CA	10/2014	Present

04/2007 → Present

Carey James & Assoc.

Arroyo Grande, CA
10/2014 → Present

Centaurus Financial Inc.

Anaheim, CA

Other Businesses

1. JAMES FINANCIAL GROUP, NON-INVESTMENT RELATED, 1186 E. GRAND AVE., ARROYO GRANDE, CA 93420, DBA FOR MARKETING PURPOSES ONLY, BOOKKEEPER, SINCE 2/10/2016. 2. JAMES REAL ESTATE POSITION: Sales Agent NATURE: Representing buyer and seller of homes INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2022 ADDRESS: Arroyo Grande CA 93420, United States DESCRIPTION: I am a licensed realtor

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-06-16
S63	Uniform Securities Agent State Law Examination	1992-03-06

S66 Uniform Combined State Law Examination

2015-06-16
S63 Uniform Securities Agent State Law Examination

1992-03-06

Other Names

Diane Lynn Rivera
Diane Lynn Gallegos

View on SEC IAPD

Current Employers

Centaurus Financial, Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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